FA News Articles

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Companies Find New Ways To Filter Job Applicants

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Companies are adopting approaches that are highly specific to improve the pool of prospective employees.

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LPL Adds Freedom Wealth Alliance To Its Platform

by FA Staff

Based in Brookfield, Wis., Freedom Wealth Alliance is a newly launched, independent, hybrid RIA firm that manages $225 million.

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CFPB: Programs Could Save Employers $3 For Every $1 Spent

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The Consumer Financial Protection Bureau on Tuesday urged employers to adopt holistic financial wellness programs for employees.

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Former First Command Advisor Pleads Guilty To Stealing From Dead Clients

by FA Staff

A former First Command financial advisor pled guilty to liquidating clients' accounts using electronic signatures.

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BlackRock Making It Easier For FAs To Pick Its Brains

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BlackRock, the world’s largest investment manager, is making it easier for financial advisors to pick the brains of its experts through a new Web site.

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Jefferson National, COO Lau Part Ways

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David Lau, Jefferson National Financial’s chief operating officer, has vacated the post after nine years with the company, company officials confirmed today.

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Finra Fines Citigroup $1.85 Million For Trading Violations

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Citigroup will also return more than $638,000 to customers after its securities unit failed to get the best prices for about 22,000 preferred securities trades over more than three years, Finra says.

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Asset-Backed Bonds Said To Face Tougher SEC Disclosure Rules

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The SEC will vote this week on the final rules, which were mandated by the Dodd-Frank Act after investors were burned by soured debt sold by Wall Street before the 2008 credit crisis.

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Student Debt Bomb Could Boost College Financial Planning Programs

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As colleges start the new school year, the student debt bomb could be leading to growing enrollments in college-level financial advisory courses and programs, says a CFP Board executive.

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